DOE G 414.1-5
Each of the effectiveness review activities may be conducted by any number of personnel
representing the site or other locations based on the size and complexity of review activities
needed to verify closure and thoroughly assess the effectiveness of the corrective actions in
resolving each finding and preventing recurrence. Review participants may be called upon
intermittently for different portions of the review depending on their areas of expertise and
The Corrective Action Effectiveness Review Lead Manager may decide to select an individual to
manage the planning, conduct, administration, logistics, and reporting of the review. This may
Coordinating and recording all review activities and results.
Assembling and managing effectiveness review participants.
Monitoring and delegating effectiveness review participant activities.
Developing a final effectiveness review report.
If management of effectiveness review activities transfers from one person to another, all plans,
records, and other reports and activities should also be transferred to maintain consistency and
continuity of review activities.
CONDUCT OF THE CORRECTIVE ACTION EFFECTIVENESS REVIEWS
Corrective action effectiveness review activities participants should consider the following
guidance in the conduct of the reviews:
The corrective action effectiveness reviews of selected completed corrective actions for each
problem finding may be initiated at any time during CAP implementation and may take place
over an extended period. This may be after all corrective actions for the specific finding are
completed, as selected individual corrective actions for the problem finding are completed, or
when all the corrective actions for all findings are completed.
Factors in determining when to schedule effectiveness review activities include:
The number and complexity of problem findings and associated corrective actions in the
The significance and impact of each problem finding and associated corrective actions to
site/organization safety, mission operations, and security.
Resource (funding, personnel and time) requirements and availability to conduct the
effectiveness reviews for specific corrective actions. For example, verifying completion
and determining effectiveness of an additional procedure incorporated to ensure
protective grounding for a specific hazardous work requirement may be scheduled